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Broker-Dealer Regulation and Compliance

Greenberg Traurig counsels broker-dealers, transfer agents, securities exchanges, alternative trading systems, municipal securities dealers, and municipal advisors in a wide range of regulatory and compliance matters, including Dodd-Frank and JOBS Act issues, Exchange Act issues, Municipal Securities Rulemaking Board (MSRB) matters, and pay-to-play business restrictions, among others. We also conduct internal investigations and full-scale compliance reviews. We work closely with our clients to develop and update their compliance programs, as well as their anti-money laundering and internal control policies and procedures, as well as implementation of new Regulation BI and Form CRS.

Greenberg Traurig advises clients throughout the lifecycle of a securities industry participant, from creation through an SRO new membership application to sale or disposal of assets. We help our clients avoid unwarranted regulatory scrutiny and enforcement, and defend when investigations or actions are brought by the SEC, DOJ, states’ Attorneys General, CFTC, FINRA, the New York Stock Exchange, and other regulators and litigants involving:

  • Advertising regulation
  • New lines of business
  • Regulatory capital deficiencies
  • 15a-6 arrangements
  • Insider trading
  • Individual enforcement actions
  • Anti-money laundering
  • Market making and proprietary trading
  • Criminal proceedings